| 09-05881 | 10/28/2010 | Claimant(s): Gay Parks, Vernon Parks
Claimant Lawyers(s): Vernon R. Parks
Respondent(s): TD Ameritrade.
Respondent Lawyers(s): Hollie Mason
Arbitrator(s): David A. Schuler
Hearing Site: Dallas, TX
|  | $0 |
| 10-01634 | 10/28/2010 | Claimant(s): Robyn Brown
Claimant Lawyers(s): G. Andrew Marino
Respondent(s): Dustin Jackson, Jackson National Life Distributors LLC, Uvest Financial Services Group.
Respondent Lawyers(s): Jo Lanier Meeks, Sara Davis
Arbitrator(s): M. W. Gear
Hearing Site: Wichita, KS
| | $425 |
| 09-05807 | 10/27/2010 | Claimant(s): Andrew Becker, Donna Fisher, Andrew N. Becker Simplified Plan
Claimant Lawyers(s): Carl J. Carlson
Respondent(s): E*Trade Securities LLC
Respondent Lawyers(s): Russell B. Wuehler
Arbitrator(s): William J. Bender, James K. Barbee, Gary Ray Edwards
Hearing Site: Seattle, WA
| | Expungement |
| 09-04491 | 10/27/2010 | Claimant(s): James Olinkiewicz
Claimant Lawyers(s): Brett D. Zinner
Respondent(s): UBS Financial Services Inc., William Miller
Respondent Lawyers(s): A.J. Borrelli
Arbitrator(s): David J. Pine, Jettie K. Thomas, Jerome M Shafer
Hearing Site: New York, NY
| | $0 |
| 09-05759 | 10/27/2010 | Claimant(s): Mary Johns
Claimant Lawyers(s): Mary L. Johns
Respondent(s): Brian McVay, J. McVay
Respondent Lawyers(s): James W. Kraus
Arbitrator(s): AnnDrea M. Benson, James A. Laurenson, Michael R. Stabile
Hearing Site: Pittsburgh, PA
| | $0 |
| 08-04310 | 10/26/2010 | Claimant(s): Alexis Miron
Claimant Lawyers(s): Jeffrey L. Liddle
Respondent(s): CIBC World Markets Corp., Oppenheimer & Co..
Respondent Lawyers(s): Ellen Sheridan-Cona, Lloyd C. Clareman
Arbitrator(s): Howard J. Stiefel, Joseph W. Lodato, Elizabeth Elster Granville
Hearing Site: New York, NY
| | |
| 10-00564 | 10/26/2010 | Claimant(s): Oppenheimer & Co..
Claimant Lawyers(s): John T. McGuire
Respondent(s): Brian Mcloughlin
Respondent Lawyers(s): Brian McLoughlin
Arbitrator(s): Barbara M. Zak
Hearing Site: Los Angeles, CA
| | |
| 10-01890 | 10/26/2010 | Claimant(s): Cantella & Co..
Claimant Lawyers(s): George W. Mann
Respondent(s): Thomas Battista
Respondent Lawyers(s): Thomas John Battista
Arbitrator(s): Kelly M. Lonergan
Hearing Site: Boston, MA
| | |
| 09-06971 | 10/26/2010 | Claimant(s): Vanguard Marketing Corporation
Claimant Lawyers(s): Jennifer F. Hinderliter
Respondent(s): Robert S. and Gloria A. Hamburger
Respondent Lawyers(s): Wendy DeBord
Arbitrator(s): Paul Ribner
Hearing Site: Philadelphia, PA
| | $0 |
| 07-01704 | 10/26/2010 | Claimant(s): Andrew Elly, James Snow, Rayford Dunnam
Claimant Lawyers(s): Mack A. Bethea
Respondent(s): Prudential Equity Group, William Brownell
Respondent Lawyers(s): Retta A. Miller
Arbitrator(s): Kendall P. Hill, Mark A. Myers, Robert Thomas Killelea
Hearing Site: Jackson, MS
| | $656,000 |
